2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

MARAD 2133-

AB74

Regulations To Be 

Followed by All 

Departments, 

Agencies and 

Shippers Having 

Responsibility To 

Provide a 

Preference for U.S.-

Flag Vessels in the 

Shipment of 

Cargoes on Ocean 

Vessels (RRR)

This rulemaking would revise and clarify the Cargo Preference rules 

that have not been revised substantially since 1971. Revisions would 

include an updated purpose and definitions section along with the 

removal of obsolete provisions. This rulemaking also would establish a 

new Part 383 of the Cargo Preference regulations. This rulemaking 

would cover P.L. 110-417, Section 3511, National Defense 

Authorization Act for FY2009 changes to the cargo preference rules, 

which have not been substantially revised since 1971. The rulemaking 

also would include compromise, assessment, mitigation, settlement, 

and collection of civil penalties. Originally the agency had two separate 

rulemakings in process under RIN 2133-AB74 and 2133-AB75. RIN 2133-

AB74 would have revised existing regulations and RIN 2133-AB75 would 

have established a new part 383: Guidance and Civil Penalties and 

implement P.L. 110-417, Section 3511, National Defense Authorization 

Act for FY 2009. MARAD has decided it would be more efficient to 

merge both efforts under one; RIN 2133-AB75 has been merged with 

this action.

2 10/31/2008 1/31/2012 SB no IC unknown SLT no Cost/benefits 

unknown Notes: draft sent to OMB 12/16/12

MARAD 2133-

AB77

MARAD NEPA 

Procedures (RRR)

Update of MARAD Regulations pertaining to the National 

Environmental Protection Act (NEPA)--This rulemaking would update 

MARAD ́s NEPA regulations.

1 7/31/2012 Includes Retrospective Review under E.O.13563: 

SB no IC no SLT no cost/benefits unknown at 

this time MARAD is part of an interagency group 

within DOT working on this issue

MARAD 2133-

AB78

Transportation 

Priority Allocation 

System, Part 341 

(RRR)

Transportation Priority Allocation System Part 341-These regulations 

will complement DOT ́s Defense Production Act regulations.

4 SB no IC no SLT no costs/benefits unknown 

Schedule undetermined - dependent on OST's 

Defense Production Act rulemaking.

MARAD 2133-

AB79

Administrative 

Claims, Part 327 

(RRR)

Administrative Claims, Part 327-these provisions are extremely out of 

date and revision would be straightforward. Rationale for this 

regulation is providing clarity to the public on the issue.

4 9/30/2011 3/15/2012 SB no IC no SLT no costs/benefits unknown

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 1 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

MARAD 2133-

AB80

Operating 

Differential 

Subsidy and 

Construction 

Differential 

Subsidy Programs 

(RRR)

These programs have either been superceded or unfunded for more 

than 30 years. Rationale for revising/deleting these sections is to 

remove any confusion the public may have as to the existence of these 

programs.

3 3/30/2012 Includes Retrospective Review under E.O.13563: 

SB no IC no SLT no costs/benefits unknown

MARAD 2133-

AB81

Foreign Transfer 

Regulations (RRR)

Foreign Transfer Regulations, Part 221--The Office of the Chief Counsel 

has completed a rough draft of an update to this regulation. This 

appears to be an important area to clarify in light of recent issues 

related to foreign transfer of vessels.

2 6/29/2012 SB no IC no SLT no costs/benefits unknown

MARAD 2133-

AB82

War Risk Ship 

Valuation (RRR)

War Risk Valuation, Parts 308 and 309-these regulations are very 

outdated, as they refer to a Ship Valuation Committee that no longer 

exists and specify methods for valuation that are not being used by 

MARAD.

2 12/31/2012 SB - N, IC - N, SLT - N

OST 2105-

AE08

Disadvantaged 

Business 

Enterprise (DBE 

Program 

Improvements, 

Phase 2) (RRR)

This NPRM would propose changes to the DBE rule in such areas as 

application and personal net worth forms, transit vehicle 

mamufacturers, and certification standards and procedures.

2 5/10/2011 4/15/2012 SB - Y IC - N SLT - Y This item covers both OST 

items on the August RRR plan.

FHWA 2125-

AF38

Emergency Relief 

Program (RRR)

This rulemaking would have amended 23 CFR Part 668 to update the 

annual threshold for an ER event, raised the site threshold and clarified 

the definition of a site, clarified other definitions, and provided specific 

time limit restrictions for States when filing a claim for ER eligible work. 

This rulemaking also would have required States to develop a plan for 

obligation needs for ER funding and imposed restrictions on the 

applicability of "quick release" ER allocations. This rulemaking has been 

terminated. The FHWA has decided that, given recent natural disasters 

and current national economic conditions, this is not the appropriate 

time to tighten the eligibility standards for this program. In addition, 

the program may undergo significant changes as a result of 

reauthorization. The FHWA believes it is important to see the outcome 

of reauthorization before proceeding with this effort.

5 7/22/2011 12/15/2011

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 2 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FHWA 2125-

AF41

National Standards 

for Traffic Control 

Devices; the 

Manual on 

Uniform Traffic 

Control Devices for 

Streets and 

Highways; 

Engineering 

Judgments (RRR)

This rulemaking would propose changes to the Manual on Uniform 

Traffic Control Devices (MUTCD) to clarify the definition of "Standard 

Statements" in the MUTCD and to clarify the use of engineering 

judgment and studies in the application of traffic control devices.

2 6/20/2011 8/24/2011 8/2/2011 SB - No; IC - No; SLT - Yes. Includes 

Retrospective Review under E.O. 13563: Actual 

or Target Completion Date - The FHWA 

estimates that the final rule will be published in 

August of 2012. Anticipated savings in costs 

and/or information collection burdens, together 

with any anticipated changes in benefits - The 

FHWA plans to revise certain standards, 

guidance, options, and supporting information 

relating to traffic control devices in Part 1 

(General) of the MUTCD. The proposed changes 

are intended to provide necessary flexibility and 

to clarify both the definition of Standard 

statements in the MUTCD and the use of 

engineering judgment and studies in the 

application of traffic control devices. Progress 

updates and anticipated accomplishments - The 

NPRM was published on August 2, 2011, at 76 

FR 46214, and the comment period closed on 

October 3, 2011. The FHWA estimates that a 

final rule will be published in August of 2012. 

Notes - None.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 3 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FHWA 2125-

AF43

National Standards 

for Traffic Control 

Devices; the 

Manual on 

Uniform Traffic 

Control Devices for 

Streets and 

Highways; 

Compliance Dates 

Revision (RRR)

This rulemaking would revise the Manual on Uniform Traffic Control 

Devices (MUTCD) to revise the compliance dates for certain 

requirements in the MUTCD.

2 8/3/2011 8/5/2011 8/31/2011 SB - No; IC - No; SLT - Yes. Includes 

Retrospective Review under E.O.13563: Actual 

or Target Completion Date - The FHWA 

estimates that the final rule will be published in 

July of 2012. Anticipated savings in costs and/or 

information collection burdens, together with 

any anticipated changes in benefits - The FHWA 

proposes to revise certain information relating 

to target compliance dates for traffic control 

devices. Consistent with E.O. 13563, and in 

particular its emphasis on burden-reduction and 

on retrospective analysis of existing rules, the 

proposed changes are intended to reduce the 

costs and impacts of compliance dates on State 

and local highway agencies and to streamline 

and simplify the information. Progress updates 

and anticipated accomplishments - The NPRM 

was published on August 31, 2011, at 76 FR 

54156, and the comment period closed on 

October 31, 2011. The FHWA estimates that a 

final rule will be published in July of 2012. Notes 

- None.

FHWA 2125-

ZA00

Early Acquisition of 

Right-of-Way (RRR)

The FHWA received extensive public comment on the issue of advance 

acquisition of right-of-way, most noting that current regulations make 

it difficult to identify and preserve potential future transportation 

corridors, and that they otherwise disrupt project delivery. FHWA is in 

the process of determining specific areas for improvement and what, if 

any, changes would be most beneficial.

1 SB - No; IC - No; SLT - Yes. Actual or Target 

Completion Date - The FHWA plans to present 

the FHWA Administrator with a set of proposals 

on this issue. Anticipated savings in costs and/or 

information collection burdens, together with 

any anticipated changes in benefits - The FHWA 

has substantial experience dealing with States 

on this issue. While FHWA is constrained by 

statutory requirements, such as 23 U.S.C. 108(c) 

and CEQ regulations in this area (40 CFR § 

1506.1), we believe that a reexamination of the 

regulations and/or guidance for the advance 

acquisition of right-of-way may accelerate 

project delivery and provide States with 

enhanced flexibility. Progress updates and 

anticipated accomplishments - The FHWA's 

team is currently developing a set of proposals 

for addressing this issue and plans to present 

them to the Administrator in the near future. 

Notes - None.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 4 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FHWA 2125-

ZA01

Revision of 23 CFR 

Part 230, Civil 

Rights External 

Program (RRR)

The FHWA intends to initiate a rulemaking to update this 23 CFR Part 

230, Civil Rights External Program. Further study is necessary to identify 

specific areas for improvement and to determine what, if any, changes 

would be most beneficial.

1 SB - No; IC - No; SLT - No. Actual or Target 

Completion Date - To be determined. 

Anticipated savings in costs and/or information 

collection burdens, together with any 

anticipated changes in benefits - 23 CFR Part 

230, Civil Rights External Programs, has not 

been substantially updated since it was 

published in 1975. The FHWA has been 

considering a full update to this Part for many 

years as questions and issues from our Division 

offices, who implement these programs, have 

increased in frequency. The FHWA believes that 

reexamining this Part will improve the efficiency 

of our Civil Rights external programs. Progress 

updates and anticipated accomplishments - 

Program office has established team to begin 

discussions on necessary changes and they have 

consulted with the Office of the Chief Counsel 

on possible changes to the regulation. Notes - 

None.

FHWA 2125-

ZA02

Proprietary 

Products (RRR)

The FHWA recently issued revised guidance on proprietary products to 

ensure competition in the selection of materials, and is currently 

reexamining our existing regulations on patented and proprietary 

products to determine how we might accelerate project delivery and 

provide States with needed flexibility.

1 SB - No; IC - No; SLT - Yes. Actual or Target 

Completion Date - To be determined. 

Anticipated savings in costs and/or information 

collection burdens, together with any 

anticipated changes in benefits - The FHWA is 

reexamining its existing regulations in this area 

to determine if changes to the regulations 

would accelerate project delivery and provide 

States with needed flexibility. Progress updates 

and anticipated accomplishments - In November 

of 2011, FHWA released revised guidance on the 

use of patented and proprietary products in 

Federal-aid highway projects. The guidance 

clarified existing policy regarding the 

implementation of FHWA regulations at 23 CFR 

635.411 and was intended to ensure that the 

divisions are consistently and accurately 

applying the regulations. The FHWA is currently 

examining whether changes to the regulations 

governing proprietary products are needed. 

Notes - None.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 5 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FTA 2132-

AB02

Major Capital 

Investment 

Projects (RRR)

This rulemaking proposes a new regulatory framework for FTA ́s 

evaluation and rating of projects seeking funding under the 

discretionary New Starts and Small Starts programs authorized by 49 

U.S.C. 5309. Specifically, the rulemaking would simplify measures for 

assessing the mobility improvements and cost-effectiveness of projects; 

would place greater emphasis on the environmental benefits and 

economic development effects of projects; would clarify the criteria for 

assessing the local financial commitment of project sponsors; would 

streamline the evaluation process for projects that remain with a 

certain envelope of cost and scope during the project development 

process; and would provide a very quick evaluation process for certain 

types of projects seeking funding under the Small Starts program.

2 6/15/2011 1/16/2012 Includes Retrospective Review under E.O.13563: 

Target completion date: FTA expects to publish 

the NPRM in January, 2012. Anticipated cost 

savings: FTA estimates current overall New and 

Small Starts annual paperwork burden hours to 

be approximately 275 hours for each of the 

estimated 135 respondents totaling 37,070 

hours and annual costs totaling $2,780,250. The 

proposals in the NPRM and accompanying 

proposed guidance, if adopted, would modify 

the time required to prepare and submit an 

applications. Thus, FTA estimates burden hours 

would be approximately 260 hours for each of 

the estimated 135 respondents totaling 35,070 

hours and annual costs totaling $2,630,250. 

These and other paperwork requirement tradeoffs were an express objective in developing this 

NPRM. SB - N IC - N SLT - Y This item 

emcompasses the third and fourth FTA item in 

the August RRR plan.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 6 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FTA 2132-

AB03

Environmental 

Impact and 

Related 

Procedures (RRR)

This rulemaking would establish a number of categorical exclusions (CE) 

from the requirement that an environmental assessment or an 

environmental impact statement be prepared under section 102 of the 

National Environmental Policy Act of 1969 (NEPA) for FTA-funded 

actions. The CEs were developed after an extensive effort, in line with 

Council on Environmental Quality guidance, to identify activities that 

FTA believes do not have a significant effect on the environment. The 

list of CEs includes some overlap with existing CEs, but would provide a 

tool that would expedite the delivery of transit projects without 

compromising environmental quality. The rulemaking would also make 

targeted revisions to the joint FTA-FHWA NEPA regulation that would 

only apply to FTA and would serve to support FTA ́s focus on 

streamlining its own unique environmental process. These revisions 

would include: (1) updating the NEPA regulation to provide for 

electronic means of disseminating information relevant to the NEPA 

process, (2) removing from the list of projects that normally require an 

environmental impact statement any fixed guideway transit facility that 

will be constructed within the existing right-of-way, (3) clarifying timing 

of the scoping process and procurement of a contractor for preparation 

of an environmental document, and (4) removing an unnecessary 

regulatory provision that applied only to New Starts projects.

2 2/2/2012 1/25/2012 SB - N IC - N SLT -Y This item encompasses the 

first and second FTA items in the August RRR 

plan. FTA expects costs to be minimal.

FAA 2120-

AJ94

Enhanced Flight 

Vision System 

(EFVS) (RRR)

This rulemaking would amend the FAA ́s regulations for landing under 

instrument flight rules when using a certified Enhanced Flight Vision 

System (EFVS). Currently, in order to descend from 100 feet above the 

threshold to touchdown, the operator must see visual references using 

only natural vision. The intended effect would be to permit operators to 

use a certified EFVS in lieu of natural vision to continue descending 

from 100 feet above the threshold to touchdown. This rulemaking 

would also permit certain operators using an EFVS-equipped aircraft to 

initiate a flight and to continue an approach when the destination 

airport weather is below published visibility minimums. This action is 

necessary to expand operational capabilities and benefits for landing 

under instrument flight rules when using a certified EFVS.

2 6/25/2012 SB: Y, IC: N, SLT: N Anticipated costs/benefits: 

The cost and benefits have not yet been 

determined. Progress update: The FAA is 

currently drafting the NPRM.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 7 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FAA 2120-

AJ97

14 CFR Part 16; 

Rules of Practice 

for FederallyAssisted Airport 

Enforcement 

Proceedings (RRR)

This rulemaking would update, simplify, and streamline procedures for 

filing and addressing complaints against federally-assisted airports. It 

would also provide relief by allowing stakeholders and the FAA to 

handle complaints using modern business practices, including the 

newly adopted electronic filing process. This action is necessary to 

reflect the changes that have evolved since Part 16 was implemented in 

1996. The intended effects of this action are to improve the efficiency 

of the complaint and investigation processes, and clarify process 

requirements for persons involved in enforcement proceedings.

2 12/9/2011 3/21/2012 SB: Y, IC: N, SLT: Y Anticipated costs/benefits: 

The proposed rule will have a minimal economic 

impact, with positive net benefits for those 

parties involved in filing and responding to 

complaints against federally-assisted airports. 

Progress update: The FAA is currently drafting 

the NPRM.

FAA 2120-

AK00

Medical Certificate 

Endorsement Issue 

(RRR)

This rulemaking would remove an amendment, imposed in 2008, 

requiring individuals granted the Special Issuance of a Medical 

Certificate to have their letter of Authorization in their physical 

possession or readily accessible on the aircraft while exercising pilot 

privileges. This rulemaking responds to a 2007 International Civil 

Aviation Organization audit finding, the FAA mandated that individuals 

granted special issuance also carry their detailed letter of 

Authorization.

3 3/30/2012 SB: N, IC: N, SLT: N Anticipated costs/benefits: 

This direct final rule does not impose any costs 

on the affected pilot population. The benefit of 

the direct final rule will be that it relieves 

approximately 28,000 airmen vetted through 

the FAA special-issuance medical certification 

process from having to carry their FAA-issued 

LOA with them when exercising pilot privileges. 

Progress update: The direct final rule document 

is now in FAA coordination.

FAA 2120-

AK01

Combined Drug 

and Alcohol 

Testing Programs 

for Operators 

Conducting 

Commercial Air 

Tours (RRR)

This rulemaking would allow part 119 certificate holders with 

operations under part 121 or 135 who also conduct commercial air tour 

operations under 14 CFR part 91.147 to combine drug and alcohol 

testing programs. This rulemaking is necessary because it would allow 

certificate holders to implement one drug and alcohol testing program 

while conducting operations for what has been considered historically 

two separate employing entities. The intended effect is to decrease 

operating costs by eliminating the requirement for duplicate programs 

while ensuring the level of safety required by the current drug and 

alcohol testing regulations.

2 5/18/2012 SB: Y, IC: Y, SLT: N Anticipated costs/benefits: 

The costs and benefits have not yet been 

determined. Progress update: The FAA is 

currently drafting the NPRM.

FAA 2120-

AK03

CAT III Definitions 

(RRR)

This rulemaking would remove the definitions of Category IIIa, IIIb, and 

IIIc operations. The definitions are outdated and no longer necessary 

for aircraft certification or operational authorization. The removal of 

the definitions will aid in international harmonization efforts, future 

landing minima reductions and airspace system capacity improvements 

due to the implementation of performance based operations.

3 2/20/2012 SB: N, IC: N, SLT: N Anticipated costs/benefits: 

Since this final rule removes outdated and 

unnecessary definitions, the expected outcome 

will be a minimal impact with positive net 

benefit. Progress update: The rule is currently in 

FAA coordination.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 8 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FAA 2120-

AK11

Minimum Altitudes 

for Use of 

Autopilots (RRR)

This rulemaking would modify the way pilots operate an aircraft ́s 

autopilot capabilities during flight. This action is necessary because 

evolving aircraft technologies have outpaced current FAA ́s operational 

guidance for use of autopilots. The intended effect of this rulemaking is 

to allow movement of aircraft in safer and more efficient flight 

patterns, while smoothly incorporating ever-increasing related 

technological changes.

2 SB: N, IC: N, SLT: N Anticipated costs/benefits: 

The costs and benefits have not yet determined. 

Progress update: The rulemaking team is 

preparing to present a Rulemaking Action Plan 

at the March 2012 Rulemaking Council meeting.

FAA 2120-

ZA04

Eliminate smoke 

density 

requirements 

(RRR)

The FAA has tasked the Aviation Rulemaking Advisory Committee 

(ARAC) to comment on and make recommendations for a threat-based 

approach to material and component flammability requirements.

1 SB: N, IC: N, SLT: N

FAA 2120-

ZA05

Short term 

increases in CO2 

(RRR)

The FAA is considering revision to cabin air quality standards. The FAA is 

awaiting the outcome of the air quality survey and the ARAC 

recommendations pertaining to this issue.

1 SB: N, IC: N, SLT: N

FAA 2120-

ZA06

Fuel System 

Lightning 

Protection (RRR)

The FAA charted the Fuel System Lightning Protection Aviation 

Rulemaking Committee (ARC) to recommend changes to 14 CFR 25.981 

and associated guidance. The FAA is awaiting the final ARC 

recommendations.

1 SB: N, IC: N, SLT: N

FAA 2120-

ZA07

Markings and 

Placards (RRR)

The FAA conducted a comprehensive review of 14 CFR part 23 in 2010, 

with industry and public participation, and developed 

recommendations for change (including the partial elimination of 

weight classifications). The FAA plans to launch an Aviation Rulemaking 

Committee (ARC) in January 2012 to provide input on these 

recommendations by September 2013.

1 SB: N, IC: N, SLT: N

FAA 2120-

ZA09

Streamline aircraft 

certification (RRR)

The FAA plans to launch an Aviation Rulemaking Committee (ARC) in 

January 2012 to provide input for a recommendation to evaluate and 

streamline aircraft certification.

1 SB: N, IC: N, SLT: N

FAA 2120-

ZA10

Certificated Flight 

Instructor (RRR)

The FAA is considering a change to the certificated flight instructor 

process by requiring proof of currency in lieu of the reissuance of a new 

plastic certificate with an expiration date.

1 SB: N, IC: N, SLT: N

FAA 2120-

ZA11

Land Transfers 

(RRR)

The FAA plans to investigate ways to make land transfers less onerous 

for airports. The FAA is willing to consider revising these procedures 

subject to the Office of the Inspector General (OIG) concurrence.

1 SB: N, IC: N, SLT: Y

FAA 2120-

ZA12

High Density (RRR) The FAA is considering regulations to amend the high density rule (HDR) 

in part 93 subparts K and S to increase competitive options at DCA and 

LGA. In addition, the FAA has established a rulemaking to address 

congestion management and competition issues at LGA, JFK, and EWR, 

which currently are limited by FAA Orders.

1 SB: N, IC: N, SLT: Y

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 9 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FRA 2130-

AC06

Training Standards 

for Railroad 

Employees (RRR)

This rulemaking will (1) establish minimum training standards for each 

class or craft of safety-related employee and equivalent railroad 

contractor and subcontractor employee that require railroads, 

contractors, and subcontractors to qualify or otherwise document the 

proficiency of such employees in each such class and craft regarding 

their knowledge and ability to comply with Federal railroad safety laws 

and regulations and railroad rules and procedures intended to 

implement those laws and regulations, etc.; (2) require submission of 

railroads ́, contractors ́, and subcontractors ́ training and qualification 

programs for FRA approval; and (3) establish a minimum training 

curriculum and ongoing training criteria, testing, and skills evaluation 

measures for track and equipment inspectors employed by railroads 

and railroad contractor and subcontractors.

2 11/21/2011 1/31/2012 SB - N, SLT - N, IC - N; The benefits for this rule 

are expected to equal, if not exceed costs.

FRA 2130-

AC07

Development and 

Use of Rail Safety 

Technology: Dark 

Territory (RRR)

This rulemaking would issue standards or guidance governing 

development/deployment of technology to promote safe operation in 

non-signaled territory in arrangements not defined in signal inspection 

law.

2 10/15/2012 SB - N, IC - N, SLT - N; A comment on this 

rulemaking was received during the RRR 

process.

FRA 2130-

AC09

Vehicle/Track 

Interaction Safety 

Standards; HighSpeed and High 

Cant Deficiency 

Operations (RRR)

This rulemaking would amend the Track Safety Standards and 

Passenger Equipment Safety Standards for high-speed train operations 

and train operations at high cant deficiencies to promote the safe 

interaction of rail vehicles with the track over which they operate. It 

would revise both the safety limits for these operations and the process 

to qualify them. It accounts for a range of vehicle types that are 

currently used and may likely be used on future high-speed or high cant 

deficiency rail operations, and would provide safety assurance for train 

operations in all classes of track. It is based on the results of simulation 

studies designed to identify track geometry irregularities associated 

with unsafe wheel forces and acceleration, thorough reviews of vehicle 

qualification and revenue service test data, and consideration of 

international practices.

3 7/12/2011 6/7/2012 SB - N, IC - N, SLT - N; A comment on this 

rulemaking was received during the RRR 

process. FRA expects up to $300M in benefits 

over 20 years, discounted at 7%.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 10 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FRA 2130-

AC11

Risk Reduction 

Program (RRR)

This rulemaking would consider appropriate contents for Risk 

Reduction Programs and how they should be implemented and 

reviewed by FRA.

2 10/27/2011 12/3/2012 SB - N, IC - N, SLT - N; A comment on this 

rulemaking was received during the RRR 

process.

FRA 2130-

AC14

Emergency Escape 

Breathing 

Apparatus (RRR)

This rulemaking would prescribe regulations that require railroads to 

provide specified emergency escape breathing apparatus for all crew 

members in locomotive cabs on freight trains carrying poisoninhalation-hazard hazardous material and provide training in its use.

3 11/9/2011 6/7/2012 SB - N, IC - N, SLT - N A comment on this 

rulemaking was received during the RRR 

process. FRA expects this rule to have a net cost 

of $65M.

FRA 2130-

AC16

Locomotive Safety 

Standards 

Amendments 

(RRR)

This rulemaking would amend the rules pertaining to Locomotive Safety 

Standards. The proposed amendments would update, consolidate, and 

clarify existing rules, and adopt existing industry and engineering best 

practices. The proposed amendments include: updating locomotive 

inspection record keeping requirements by permitting electronic 

records; consolidating locomotive air brake maintenance into a single 

provision; clarifying locomotive headlight requirements to address new 

technology; and, establishing locomotive electronics standards based 

on existing industry and engineering best practices, as well as other 

existing Federal electronics standards. This action is taken by FRA in an 

effort to improve its safety regulator program.

3/15/2012 SB - N, SLT - N, IC - N Comments on this 

rulemaking were received in the RRR process. 

FRA believes net benefits over 20 years could 

exceed $200M.

FRA 2130-

AC27

Positive Train 

Control Systems 

Amendments 

(RRR)

This rulemaking would modify or remove provisions relating to the 

alternative route analysis and residual risk analysis used to determine 

whether Positive Train Control System implementation may be avoided.

3 6/18/2012 SB - N, SLT - N, IC - N; The potential cost savings 

from this rulemaking could reach $590M over 

20 years when discounted at 7%.

FRA 2130-

AC28

Track Safety 

Standards: 

Defective Rails, 

Inspection of Rail, 

Inspection 

Records, Qualified 

Operator, Joint Bar 

Fracture Report 

(RRR)

This rulemaking would prescribe specific requirements for effective rail 

inspection frequencies, rail flaw remedial actions, minimum operator 

qualifications, and requirements for rail inspection records. In addition, 

it would remove the regulatory requirements concerning joint bar 

fracture reporting. Section 403(c) of the Rail Safety Improvement Act of 

2008 mandates that FRA promulgate regulations addressing rail flaw 

detection inspections.

2 4/30/2012 SB - N, IC - N, SLT - N; This rulemaking will 

address a comment on DOT's Retrospective 

Regulatory Review.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 11 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FRA 2130-

AC32

Positive Train 

Control Systems: 

De Minimis 

Exception, Yard 

Movements, En 

Route Failures; 

Miscellaneous 

Grade 

Crossing/Signal 

and Train Control 

Amendments 

(RRR)

This rulemaking would revise Positive Train Control regulations by 

defining the de minimis exception and en route failures, proposing 

exceptions relating to yard movements that may not be considered on 

the main line system, and amending regulations governing grade 

crossing and signal and train control systems. The rulemaking is in 

response to a petition for rulemaking from the Association of American 

Railroads.

2 5/14/2012 8/1/2012 SB - N, SLT - N, IC - N;

FRA 2130-

ZA00

Revised Proposal 

for Revisions to the 

Schedules of Civil 

Penalties for a 

Violation of a 

Federal Railroad 

Safety Law or 

Federal Railroad 

Administration 

Safety Regulation 

or Order (RRR)

FRA is issueing for comment a revised proposal (New Proposal) that if 

adopted, would amend, line-by-line, FRA ́s schedules ("Schedules") of 

civil penalties issued as appendices to FRA ́s rail safety regulations, as 

well as other guidance, in order to reflect more accurately the degree 

of safety risk associated with a violation of each regulatory requirement 

and to ensure that the civil monetary penalty amounts are consistent 

across all FRA safety regulations. The New Proposal represents a 

revision of FRA ́s December 2006 proposal to amend the Schedules for 

the same purposes (December 2006 Proposal or Initial Proposal).

4 SB - N, IC - N, SLT - N A comment on this action 

was received in DOT's 2011 Retrospective 

Regulatory Review.

FRA 2130-

ZA06

Development of 

Electronic Federal 

Custody and 

Control Form (RRR)

This action would respond to a comment received from the Union 

Pacific Railroad that an electronic recordkeeping option should be 

available for various recordkeeping requirements found in 49 CFR §§ 

40.45 and 40.225. The Federal Custody and Control Form, which is 

required by 49 CFR § 40.45, is actually owned by HHS. However, this 

form has been adopted by DOT for DOT ́s drug testing program. HHS is 

working with OMB and the Federal Agencies to develop an electronic 

version of the Federal Custody and Control Form. Once HHS develops 

an electronic version of the Federal Custody and Control Form, DOT 

intends to develop an electronic version of the DOT Alcohol Testing 

Form (which is required by 49 CFR § 40.225), which will incorporate 

standards used in the electronic Federal Custody and Control Form.

4 SB - Y, IC - Y, SLT - N This action is being 

prompted by a comment that was received 

during the RRR process.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 12 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FRA 2130-

ZA07

National 

Environmental 

Policy Act (RRR)

This action would respond to a comment received from the North 

Carolina Department of Transportation that it would be prudent and 

more efficient if FRA could accept NEPA documents that have been 

prepared by FTA or FHWA, in order to fulfill FRA ́s responsibilities under 

NEPA. In sum, it appears that the North Carolina Department of 

Transportation is objecting to the fact that FRA does not have the 

authority to use FTA or FHWA ́s categorical exclusions. Categorical 

exclusions have been created by FTA and FHWA based upon their 

individual experience in assessing and implementing projects that allow 

FTA/FHWA to conclude that a particular category of actions does not 

typically lead to environmental impacts. FRA ́s funding programs do not 

have this long history. However, FRA has been working to update its list 

of categorical exclusions consistent with CEQ ́s November 23, 2010 

guidance on Establishing, Applying, and Revising Categorical Exclusions.

4 SB - N, IC - Y, SLT - Y This action is being 

prompted by a comment that was received 

during the RRR process.

FRA 2130-

ZA08

Crashworthiness 

Standards (RRR)

This action would respond to a comment received from SRC, a tourist 

railroad, that FRA ́s crashworthiness standards in 49 CFR Part 238 are 

detrimental to the use and growth of passenger rail transportation. 

However, FRA has tailored the application of its crashworthiness 

standards. Similarly, FRA has established a policy to issue waivers under 

appropriate circumstances to help limit the impact of its 

crashworthiness standards on light rail equipment that shares use of 

trackage or rights-of-way with conventional rail equipment. FRA has 

also continued to explore means of making its crashworthiness 

standards more performance-based. FRA has developed guidelines 

through the RSAC process for waiver approval to use alternative, 

performance-based crashworthiness standards for passenger 

equipment operating at speeds up to 125 mph. FRA is also pursuing a 

similar approach through the RSAC process to develop standards for 

passenger rail equipment operating at speeds up to 220 mph.

4 SB - N, IC - N, SLT - N This action is being 

prompted by a comment that was received 

during the RRR process.

FRA 2130-

ZA09

Occupational 

Noise Exposure 

Rule Exemption 

(RRR)

This entry was prompted by a comment received from SRC, a tourist 

railroad, in which the SRC urged FRA to continue the current exemption 

in 49 CFR Part 227 for tourist, scenic, historic, or excursion operations. 

FRA agrees that the exemption is appropriate and plans to retain the 

existing exemption in the regulation.

4 SB - N, IC - N, SLT - N This entry was prompted 

by a comment that was received during the RRR 

process.

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 13 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FMCSA 2126-

AB02

Commercial 

Driver's License 

Testing and 

Commercial 

Learner's Permit 

Standards (RRR)

This rulemaking will establish revisions to the commercial driver ́s 

license knowledge and skills testing standards as required by section 

4019 of TEA-21, implement fraud detection and prevention initiatives at 

the State driver licensing agencies as required by the SAFE Port Act of 

2006, and establish new minimum Federal standards for States to issue 

commercial learner ́s permits (CLPs), based in part on the requirements 

of section 4122 of Safe, Accountable, Flexible, Efficient, Transportation 

Equity Act: A Legacy for Users (SAFETEA-LU). In addition to ensuring the 

applicant has the appropriate knowledge and skills to operate a 

commercial motor vehicle, this rule would establish the minimum 

information that must be on the CLP document and the electronic 

driver ́s record. The rule would also establish maximum issuance and 

renewal periods, establish a minimum age limit, address issues related 

to a driver ́s State of Domicile, and incorporate previous regulatory 

guidance into the Federal regulations. This rulemaking would also 

address issues raised in the SAFE Port Act.

5 2/19/2010 5/6/2011 5/9/2011 This is a completed action. FR published 

05/09/11. Docket ID FMCSA-2007-27659 SB yes 

IC yes SLT yes Costs over ten years $156.5 

million benefits over 10 years $390.65 million 

Net benefts overs 10 years $267.8 million Rule is 

completed. Published 5/9/11.

FMCSA 2126-

AB26

Hours of Service 

(RRR)

This rulemaking changes to the hours of service requirements for 

drivers operating a commercial motor vehicle transporting property. 

The requirement for this rulemaking was established on October 26, 

2009, when Public Citizen, et al. (Petitioners) and FMCSA entered into a 

settlement agreement under which Petitioners ́ petition for judicial 

review of the November 19, 2008, Final Rule on drivers ́ hours of 

service was held in abeyance pending the publication of an NPRM 

reevaluating the Hours of Service rule.

5 10/28/2011 12/27/2011 This final rule responded to a comment from the 

ATA during the Retrospective Regulatory Review 

by removing obsolete language on an expired 

exemption provided for certain motor carriers 

transporting grapes in New York. The action is 

completed. SB - N, IC - N, SLT - N..

FMCSA 2126-

AB30

Parts and 

Accessories 

Necessary for 

Operations; 

Saddlemount 

Braking 

Requirements 

(RRR)

In response to a petition for rulemaking from the Automobile Carrriers 

Conference, FMCSA proposes to amend the FMCSRs to eliminate the 

requirement for operational brakes on the last saddle-mounted truck in 

a triple saddle-mount combination, except when a full mount is 

present..

5 9/27/2011 10/5/2011 9/13/2011 This rule has been completed. FR published 

9/13/11 SB y IC n SLT n

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 14 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FMCSA 2126-

AB34

Inspection, Repair, 

and Maintenance; 

Driver-Vehicle 

Inspection Report 

for Intermodal 

Equipment (RRR)

This rulemaking would revise a requirement of the FMCSRs that applies 

to intermodal equipment providers and motor carriers operating 

intermodal equipment (IME). The rulemaking would delete the 

requirement for drivers operating IME to submit driver-vehicle 

inspection reports (DVIRs) when the driver has not found or been made 

aware of any defects ("no-defect DVIRs"). This rulemaking responds to 

a joint petition for rulemaking from the Ocean Carrier Equipment 

Management Association and the Institute of International Container 

Lessors.

3 4/11/2012 6/10/2012 SB y IC y SLT n 1. Actual or Target Completion 

Date - 6/10/12 2. Anticipated savings in costs 

and/or information collection burdens, together 

with any anticipated changes in benefits (please 

quantify, to the extent feasible, and also specify 

baseline, time horizon, and affected groups) - 

The final rule is expected to result in a burden 

reduction of 1.636 million hours. 3. Progress 

updates and anticipated accomplishments - 

Final Rule expected to publish in June 2012 4. 

Notes - None

FMCSA 2126-

AB36

Hours of Service 

Exception for 

Railroad Signal 

Employees (RRR)

Section 108 of the Railroad Safety Improvement Act of 2008 (RSIA), 

Public Law 110-432, signed 10/16/08, effective July 16, 2009, states 

that railroad signal employees operating motor vehicles shall not be 

subject to hours of service (HOS) rules promulgated by any other 

Federal authority, including the FMCSA (FMCSA). The RSIA will require 

the FMCSA to amend its HOS regulations to state that FMCSA HOS 

regulations do not apply to railroad signal employees. The rule will 

provide clarity to the motor carrier industry and eliminate improper 

citations to signal employees because enforcement officers may not be 

aware of the statutory exception.

5 6/21/2011 5/5/2011 This is a completed acttion. FR published 

5/5/11. SB y IC y SLT no Costs/benefits unknown

FMCSA 2126-

AB43

Self Reporting of 

Out-of-State 

Convictions (RRR)

This rulemaking would clarify the requirement for holders of 

commercial drivers licenses (CDL) convicted of violating traffic laws in a 

State other than the State that issued their CDL, to notify the State of 

issuance about those violations under part 383.31 of FMCSA’s 

Commercial Drivers License Standards; and clarify the requirement for 

the licensing agency from the jurisdiction in which the conviction takes 

place to notify the State licensing Agency that issued the CDL under 

part 384.209 State Compliance with Commercial Drivers License 

Program. This rulemaking would also ensure that notifications required 

in sections 383.31 and 384.209 take place within 30 days of the 

conviction.

3 SB y IC y SLT no 1. Actual or Target Completion 

Date - 8/28/12 2. Anticipated savings in costs 

and/or information collection burdens, together 

with any anticipated changes in benefits (please 

quantify, to the extent feasible, and also specify 

baseline, time horizon, and affected groups) - 

Undetermined. 3. Progress updates and 

anticipated accomplishments - Final Rule 

expected to publish in August 2012 4. Notes - 

FMCSA considering the use of a direct final rule 

as this action would remove a redundent 

reporting requirement.

FMCSA 2126-

AB46

Single Pre-trip 

Inspection (RRR)

The FMCSA would consider whether its existing regulations requiring 

commercial motor vehicle (CMV) drivers to ensure their vehicles are in 

safe and proper operating condition at the beginning of the work day 

include obsolete or redundant requirements that impose unnecessary 

burdens on the industry. These requirements are found in 49 CFR Part 

392, concerning safe driving, and 49 CFR Part 396, concerning 

inspection, repair and maintenance of CMVs.

1 SB - N, IC - N; SLT - N

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 15 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

FMCSA 2126-

AB47

Electronic 

Signatures (ESignatures) (RRR)

This rulemaking would incorporate the principles of FMCSA ́s regulatory 

guidance concerning e-signatures by amending various sections of the 

Federal Motor Carrier Safety Regulations (FMCSRs) to enable the use of 

e-signatures in support of electronic recordkeeping options. These 

options would provide significant paperwork reductions and be less 

burdensome to the motor carrier industry than the paper records the 

Agency currently requires.

2 SB - Y; IC - Y, SLT - N

FMCSA 2126-

AB48

Elimination of 

Form M (RRR)

The FMCSA would rescind the requirement in 49 CFR Part 369 for 

certain for-hire motor carriers of property to file the annual Form M 

concerning their revenues, profits and losses. As a holdover regulation 

from the elimination of the Interstate Commerce Commission in 1995, 

the Agency currently requires this form annually, but does not use it for 

data purposes. This burden can be removed without an adverse impact 

on safety or the Agency ́s ability to maintain effective commercial 

regulations over the for-hire trucking industry.

2 SB - Y, IC - Y, SLT - N

FMCSA 2126-

AB49

Elimination of 

Redundant 

Maintenance Rule 

(RRR)

The FMCSA would amend the Federal Motor Carrier Safety Regulations 

to eliminate redundant inspection, repair, and maintenance 

requirements. Specifically, the FMCSA would amend the regulations to 

include within 49 CFR 396.3, concerning general maintenance rules, 

requirements that vehicles be properly lubricated and free of oil and 

grease leaks. Currently, the requirements addressing oil and grease 

leaks, and lubrication are covered in a separate section. The Agency 

believes combining the requirements in a single section of the Federal 

Motor Carrier Safety Regulations would improve the clarity of the 

safety regulations and eliminate a redundancy in the maintenance 

rules.

2 SB - Y, IC - N, SLT - N

FMCSA 2126-

ZA01

Redundant 

Credentialing (RRR)

The FMCSA, through a non-rule policy would eliminate redundant 

driver credential requirements with associated background checks for 

drivers who carry hazardous materials. We would coordinate with the 

Transport Security Administration on how best to achieve this.

1 1/1/2013 SB - N, IC - N, SLT - N. Completion scheduled for 

1/1/13.

NHTSA 2127-

AK43

Federal Motor 

Vehicle Safety 

Standard No. 111, 

Rearview Mirrors 

(RRR)

This rulemaking would amend Federal Motor Vehicle Standard No. 111; 

Rearview Mirrors, to reflect requirements contained in the Cameron 

Gulbransen Kids Transportation Safety Act of 2007. The Act requires 

that NHTSA expand the required field of view to enable the driver of a 

motor vehicle to detect areas behind the motor vehicle to reduce death 

and injury resulting from backing incidents, particularly incidents 

involving small children and disabled persons. According to the Act, 

such a standard may be met by the provision of additional mirrors, 

sensors, cameras, or other technology to expand the driver ́s field of 

view.

3 12/31/2011 12/30/2011 The comment entitled “Safety on Garbage 

Trucks” found in DOT's August 2011 

Retrospective Regulatory Review Plan has been 

considered as part of this rulemaking. SB: N, IC: 

N, SLT: N

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 16 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

NHTSA 2127-

AK79

Passenger Car and 

Light Truck 

Corporate Average 

Fuel Economy 

Standards MYs 

2017 and Beyond 

(RRR)

This rulemaking would establish Corporate Average Fuel Economy 

(CAFE) standards for light trucks and passenger cars for model years 

2017 and beyond. This rulemaking would respond to requirements of 

the Energy Policy and Conservation Act, as amended by the Energy 

Independence and Security Act of 2007. The statute requires that CAFE 

standards be prescribed separately for passenger automobiles and nonpassenger automobiles to achieve a combined fleet fuel economy of at 

least 35 mpg by model year 2020. For model years 2021 and beyond, 

the statute requires that the average fuel economy required to be 

attained by each fleet of passenger and non-passenger automobiles be 

the maximum feasible for each model year. The law requires the 

standards be set at least 18 months prior to the start of the model year. 

On May 21, 2010, President Obama issued a memorandum directing 

NHTSA and EPA to conduct a joint rulemaking (NHTSA regulating fuel 

economy and EPA regulating greenhouse gas emissions), and to issue a 

Notice of Intent to Issue a Proposed Rule (NOI) by September 30, 2010.

2 9/1/2011 11/15/2011 12/1/2011 The comment entitled “Fuel Economy, Survey of 

Fill up Times” found in DOT's August 2011 

Retrospective Regulatory Review Plan led to 

research that was relevant to this rulemaking. 

SB: N, IC: N, SLT: N

NHTSA 2127-

AK86

Mandatory Part 

563 Event Data 

Recorder 

Requirements 

(RRR)

This rulemaking would establish a new Federal motor vehicle safety 

standard to mandate the installation of Event Data Recorders (EDR) in 

light vehicles. The standard would incorporate the current 49 CFR Part 

563, which established the current reporting requirement of voluntarily 

installed EDRs in light vehicles. Part 563 presently requires vehicle 

manufacturers who are voluntarily installing EDRs to be in compliance 

with the regulation by September 1, 2012. This rulemaking would not 

affect the 2012 compliance date for voluntarily-installed EDRs. 

Furthermore, this rulemaking would not modify any of the Part 563 

data elements, data capture and format requirements, data retrieval 

specifications, or data survivability and crash test requirements. 

Moreover, this rulemaking to mandate EDRs across the entire light 

vehicle fleet could contribute to advancements in vehicle designs, and 

advanced restraint and other safety countermeasures. The estimated 

total incremental costs associated with this rulemaking would be $24.4 

million (2009 dollars), which is measured from a baseline of 91.6 

percent EDR installation to 100 percent installation, assuming the sale 

of 15.5 million light vehicles per year.

2 10/31/2011 4/13/2012 The comment entitled "Open Data for Safety & 

Innovation in Cars" found in DOT's August 2011 

Retrospective Regulatory Review Plan has been 

considered as part of this rulemaking. SB: N, IC: 

N, SLT: N 

NHTSA 2127-

AK98

Pedestrian Safety 

Global Technical 

Regulation (RRR)

This rulemaking would provide requirements to protect pedestrian 

heads and legs when impacted by the front end of vehicles. A draft 

preliminary analysis of cost and benefits indicates that if this standard 

were applied fatalities would be reduced by 62 – 91 lives per year and 

805 lower leg injuries per year would be mitigated. NHTSA initiated this 

rulemaking following the establishment of the Global Technical 

Regulation (GTR) by the UNECE ́s World Forum for the Harmonization 

of Vehicle Regulations (WP.29) in November 2008 and plans to base the 

new FMVSS based on the GTR.

4 SB: Y, IC: N, SLT: N

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 17 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

NHTSA 2127-

AK99

Federal Motor 

Vehicle Standard 

No. 108; Lamps, 

reflective devices, 

and associated 

equipment - Color 

Boundaries (RRR)

This rulemaking would amend Federal Motor Vehicle Safety Standard 

No. 108; Lamps, reflective devices, and associated equipment, to 

include the color definitions of green and blue. These color definitions 

were removed during a 2007 administrative rewrite of the standard, 

however it has been brought to the agency ́s attention that removing 

these definitions will cause undue hardship on the regulated entities. 

There are no safety related costs or benefits associated with this 

rulemaking.

3 SB: Y IC: N SLT: N

NHTSA 2127-

AK99

Federal Motor 

Vehicle Standard 

No. 108; Lamps, 

reflective devices, 

and associated 

equipment - Color 

Boundaries (RRR)

This rulemaking would amend Federal Motor Vehicle Safety Standard 

No. 108; Lamps, reflective devices, and associated equipment, to 

include the color definitions of green and blue. These color definitions 

were removed during a 2007 administrative rewrite of the standard, 

however it has been brought to the agency ́s attention that removing 

these definitions will cause undue hardship on the regulated entities. 

There are no safety related costs or benefits associated with this 

rulemaking.

3 7/31/2012 SB: Y, IC: N, SLT: N

NHTSA 2127-

AL00

Federal Motor 

Vehicle Safety 

Standard No. 108; 

Lamps, reflective 

devices, and 

associated 

equipment - 

Reconsideration 

(RRR)

This rulemaking would respond to petitions for reconsideration of the 

December 4, 2007 final rule affecting Federal Motor Safety Standard 

No, 108; Lamps, reflective devices, and associated equipment, which 

was an administrative rewrite. This response included several minor 

technical corrections to the final rule to correct typos and improperly 

written requirements that inadvertently created substantive changes. 

There is no safety related costs or benefit associated with this 

rulemaking.

5 7/29/2011 8/8/2011 SB: N, IC: N, SLT: N

NHTSA 2127-

AL02

FMVSS No. 126, 

Petition for 

Reconsideration of 

Electronic Stability 

Control (ESC) (RRR)

This rulemaking would address a petition for reconsideration received 

by NHTSA to the April 6, 2007 electronic stability control final rule. The 

Alliance petitioned NHTSA to amend the language in the ESC final rule 

regarding multifunction control, two part tell tales and outrigger to 

harmonize with the Global Technical Regulation No. 8 Electronic 

Stability Control. There are no measurable costs or benefits associated 

with this action.

5 7/27/2011 9/9/2011 SB: Y, IC: N, SLT: N

NHTSA 2127-

AL03

Part 571 FMVSS 

No. 205, Glazing 

Materials, GTR 

(RRR)

This rulemaking would enhance FMVSS No. 205 by adopting a Global 

Technical Regulation (GTR), which contains updated performance tests 

for glazing materials that are composed of glass, laminated glass, or 

glass faced with plastic compared to what is currently in FMVSS No. 

205. The tests in the GTR would allow manufacturers to achieve 

efficiencies in the certification process while not degrading safety or 

imposing new burdens.

2 6/30/2012 7/30/2012 We anticipate that this rule will reduce 

certification costs compared to current 

standards for industry. The savings have not 

been estimated, but will likely be very minor 

savings on an annual basis starting with the 

effective date. SB: Y, IC: N, SLT: N 

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 18 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

NHTSA 2127-

AL05

Amend FMVSS No. 

210 to Incorporate 

the Use of a New 

Force Application 

Device (RRR)

This rulemaking would amend Federal Motor Vehicle Safety Standard 

(FMVSS) No. 210, Seat belt assembly anchorages, to replace the 

existing body blocks for testing the strength of seat belts with a new 

Force Application Device and associated positioning procedure. The 

new force application device would be used as a testing interface to 

transfer loads onto the seat belt anchorage system during compliance 

tests of seat belt anchorage strength. The device represents a human 

torso and pelvis. The new device comes in two sizes, one representative 

of a mid-size adult male, and the other of a small occupant. This 

rulemaking would propose that both sizes be used in FMVSS No. 210. 

Because the device is easier to use than the current body blocks, this 

rulemaking would simplify the compliance test of the standard and 

make NHTSA ́s evaluation of seat belt anchorage strength more 

effective. We estimate the one-time cost of purchasing a set of these 

devices (approximately $40,000) would be offset by the continual labor 

cost savings in setting up the devices for testing. NHTSA ́s testing has 

demonstrated that the proposed force application devices do not 

appear to affect the stringency of the standard.

2 12/30/2011 We anticipate that this rule will reduce testing 

costs by roughly $93.75 per test compared to 

current standard. This rule will also reduce 

NHTSA compliance costs and industry testing 

costs annually starting with the effective date. 

SB: Y, IC: N, SLT: N 

NHTSA 2127-

ZA06

Evaluation of 

Occupant Crash 

Protection – 

FMVSS 208, 

Advanced Air Bags 

(RRR)

Evaluation of Advanced Air Bag Occupant Crash Protection systems for 

Passenger Cars and Light Trucks.

4 SB: N, IC: N, SLT: N

NHTSA 2127-

ZA07

Evaluation of 

Electronic Stability 

Control Systems – 

FMVSS 126 (RRR)

Evaluation of Electronic Stability Control Systems for Passenger Cars 

and Light Trucks. The technical evaluation was completed in June 2011, 

notice of which was published in the Federal Register on August 10, 

2011.

4 SB: N, IC: N, SLT: N

NHTSA 2127-

ZA08

Evaluation of Tire 

Pressure 

Monitoring 

Systems – FMVSS 

138 (RRR)

Evaluation of Tire Pressure Monitoring Systems 4 SB: N, IC: N, SLT: N

NHTSA 2127-

ZA09

Evaluation of 

Occupant 

Protection in 

Interior Impact – 

FMVSS 201, Upper 

Interior Padding 

(RRR)

Evaluation of the Upper Interior Padding for Occupant Protection in 

Interior Impacts. The technical evaluation was completed in November 

2011, notice of which was published in the Federal Register on 

November 28, 2011.

4 SB: N, IC: N, SLT: N

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 19 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

PHMSA 2137-

AE38

Hazardous 

Materials: 

Compatibility with 

the Regulations of 

the International 

Atomic Energy 

Agency (IAEA) 

(RRR)

This rulemaking would amend the HMR requirements for the 

transportation of Class 7 (radioactive materials) based on recent 

changes contained in the International Atomic Energy Agency (IAEA) 

regulations. This rulemaking would more fully align the HMR with the 

international standards and would update, clarify, correct and provide 

relief of certain regulatory requirements applicable to the 

transportation of radioactive materials.

3 6/12/2012 HM-250; ; SB - Y, IC - N, SLT - N; PHMSA initiated 

this rulemaking to reduce regultory burden.

PHMSA 2137-

AE46

Hazardous 

Materials: 

Miscellaneous 

Amendments 

(RRR)

This rulemaking would make miscellaneous changes to the HMR based 

on petitions for rulemaking and PHMSA initiatives. Changes would 

include updates to the incorporation by reference materials, 

clarification of definition of "person," authorization of use of Bend test 

for certain cylinders, and clarify requirements applicable to cargo tank 

motor vehicles intended to be loaded by vacuum and also clarify 

conditions under which cargo tanks may be leakage tested using 

Method 27 Test that is authorized by EPA. The changes are intended to 

update, clarify and provide relief from certain requirements.

5 7/20/2011 7/20/2011 HM-218F; SB - Y, IC - Y, SLT - N; A comment on 

this rulemaking was received during the 2011 

Retrospecitve Regulatory Review.

PHMSA 2137-

AE62

Hazardous 

Materials: 

Approval and 

Communication 

Requirements for 

the Safe 

Transportation of 

Air Bag Inflators, 

Air Bag Modules, 

and Seat-Belt 

Pretensioners 

(RRR)

This rulemaking would revise the Hazardous Materials Regulations 

applicable to air bag inflators, air bag modules, and seat-belt 

pretensioners. The changes would incorporate into the regulations the 

provisions of certain special permits with proven safety records. In 

addition, the rule would revise the current approval and documentation 

requirements for a material appropriately classified as a UN3628 air bag 

inflator, air bag module, or seat-belt pretensioner.

2 12/30/2011 HM-254; ; SB - Y, IC - Y, SLT - N

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 20 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

PHMSA 2137-

AE73

Hazardous 

Materials: 

Revisions of 

Special Permit 

Procedures; 

Corrections, 

Clarifications and 

Responses to 

Appeals (RRR)

This final rule would make corrections and clarifications in response to 

appeals to the final rule published under Docket Number PHMSA-2009-

0410 (HM-233B) [76 FR 454] on January 5, 2011. The January 5 final 

rule amended the Hazardous Materials Regulations to revise its 

procedures for applying for a special permit to require an applicant to 

provide sufficient information about its operations to enable the 

agency to evaluate the applicant ́s fitness and the safety impact of 

operations that would be authorized in the special permit. In response 

to appeals submitted by entities affected by the January 5 final rule, 

this final rule makes corrections, such as reinserting a few sentences in 

the regs texts that were inadvertently deleted in the January 5 final rule 

and also makes additional editorial clarifications to the January 5 final 

rule. Additionally, this corrections and clarifications final rule will 

provide for an additional point of contact for facilities to provide on the 

special permits application. As an option to the signature of the CEO or 

president of the company, this final rule will provide for other ranking 

officers within the company at the time of the special permit 

application.

5 7/26/2011 7/26/2011 HM-233B; ; SB - Y, IC - Y, SLT - N; A comment on 

this rulemaking was received during the 2011 

Retrospecitve Regulatory Review

PHMSA 2137-

AE77

Hazardous 

Materials: Minor 

Editorial 

Corrections and 

Clarifications (RRR)

This rulemaking would correct editorial errors, respond to requests for 

clarification, and editorially revise regulatory text to improve the clarity 

of certain provisions in the Hazardous Materials Regulations. The 

intended effect of this rule is to enhance the accuracy, and reduce 

misunderstandings of the regulations. The amendments contained in 

this rule are minor changes and do not impose new requirements.

5 9/30/2011 9/13/2011 HM-244D; SB - N, SLT - N, IC - N

PHMSA 2137-

AE78

Hazardous 

Materials: 

Miscellaneous 

Amendments 

(RRR)

This rulemaking would update and clarify existing requirements by 

incorporating changes into the Hazardous Materials Regulations (HMR) 

based on PHMSA ́s own initiatives through an extensive review of the 

HMR and previously issued letters of interpretation. Specifically, among 

other provisions, PHMSA would provide for the continued use of 

approvals until final administrative action is taken, when a correct and 

completed application for approval renewal was received 60 days prior 

to expiration date; update various entries in the hazardous materials 

table and the corresponding special provisions; clarify the lab pack 

requirements for temperature controlled materials; correct an error in 

the HMR with regard to the inspection of cargo tank motor vehicles 

containing corrosive materials; and revise the training requirements to 

require that hazardous materials employers ensure their hazardous 

materials employee training records are available upon request to an 

authorized official of the Department of Transportation or the 

Department of Homeland Security.

2 7/5/2012 10/5/2012 HM-218G; SB - Y, SLT - N, IC - N

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 21 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

PHMSA 2137-

AE79

Hazardous 

Materials: 

Miscellaneous 

Amendments; 

Petitions for 

Rulemaking (RRR)

This rulemaking would address petitions that request minor changes to 

the Hazardous Materials Regulations (HMR) for purposes of clarifying 

the HMR or enhancing safety, while offering some net economic 

benefits. These petitions require an equivalent or increased level of 

safety as is currently required by the HMR. Among the petitions 

included in this rulemaking are: P-1479 - pertaining to manufacturer 

and third-party laboratory package markings; P-1554 - IBC material 

thickness standards; P-1555 - drop test requirements for small 

quantities of certain hazardous materials transported by air and vessel; 

and P-1556 - incorporating a special permit that allows the dangerous 

cargo manifest to be in locations designated by the master of the vessel 

besides  ́on or near the bridge ́ while the vessel is in port.

2 7/31/2012 HM-219; SB - Y, SLT - N, IC - N

PHMSA 2137-

AE80

Hazardous 

Materials: 

Miscellaneous 

Pressure Vessel 

Requirements 

(DOT Spec 

Cylinders) (RRR)

This rulemaking would revise certain requirements of the Hazardous 

Materials Regulations (HMR) applicable to the manufacture, 

maintenance, and use of DOT specification cylinders. These revisions 

clarify certain important safety requirements, incorporate industry 

consensus standards and, where appropriate, decrease the regulatory 

burden without compromising the safe transportation of compressed 

gases in commerce. These proposals respond to eleven petitions for 

rulemaking, incorporate two special permits into the HMR and address 

the National Transportation Safety Board (NTSB) Recommendation i-93-

1. Among other provisions, PHMSA proposes to provide requirements 

for the transport of fire suppression systems, clarify cylinder 

specification and requalification requirements, and adopt new and 

update current incorporations by reference of industry consensus 

standards issued by the Compressed Gas Association.

2 1/31/2012 HM-234; SB - Y, SLT - N, IC - N

PHMSA 2137-

AE81

Hazardous 

Materials: Reverse 

Logistics (RRR)

This rulemaking would address changes to the Hazardous Materials 

Regulations (HMR) that are applicable to reverse logistics. The issue of 

reverse logistics involves the transportation of hazardous materials that 

have been damaged or returned from the retailer to a return center. 

Specifically, PHMSA is initiating this rulemaking in order to establish a 

regulatory definition of  ́reverse logistics ́ and outline the 

responsibilities of those that offer hazardous materials returned by 

retail customers.

4 1/31/2012 6/29/2012 HM-253; SB - Y, SLT - N, IC - N

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 22 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities
2011 DOT Retrospective Regulatory Report

Progress Report on Actions Taken

January 13, 2012

MODE RIN TITLE ABSTRACT STAGE INITIAL DATE REVISED DATE ACTUAL DATE ADDITIONAL INFO

PHMSA 2137-

AE82

Hazardous 

Materials: 

Incorporation of 

Certain Special 

Permits and 

Competent 

Authorities into 

the HMR (RRR)

This rulemaking would amend the Hazardous Materials Regulations 

(HMR) to incorporate provisions contained in certain widely used or 

longstanding special permits and competent authorities that have 

established safety records. Incorporating such provisions into the HMR 

are intended to provide wider access to the regulatory flexibility offered 

in the special permits and competent authorities The adoption of the 

provisions would eliminate the need for numerous application and 

renewal requests. The special permits proposed to be added to the 

regulations here would allow the transportation of “Self-heating solid, 

organic n.o.s. (spent bleaching earth)” in sift-proof bulk 

packaging;would allow the use of regulated medical waste shipping 

names and markings that differ from those prescribed in the HMR; 

would allow for the transportation of Class 9 solid coal pitch 

compounds in non-specification open top or closed-top sift proof metal 

cans or fiber drums; and would allow for the transportation of selfinflating life-saving appliances that contain non-specification steel 

cylinders when being transported between a vessel and an authorized 

facility for servicing.This rulemaking action would facilitate commerce 

activity and reduce paperwork burdens while maintaining an 

appropriate level of safety. Incorporation of these provisions would 

reduce the compliance burden and cost on both industry and 

government.

2 9/28/2012 HM-233C; SB - Y, SLT - N, IC - N

PHMSA 2137-

AE85

Pipeline Safety: 

Periodic Updates 

of Regulatory 

References to 

Technical 

Standards and 

Miscellaneous 

Amendments 

(RRR)

PHMSA is proposing to amend the pipeline safety regulations to 

incorporate by reference all or parts of new, updated, or reaffirmed 

editions of voluntary consensus standards. The use of voluntary 

consensus standards allows pipeline operators to use the most current 

industry technologies, materials, and management practices available 

on today ́s market. PHMSA also proposed to make non-substantive 

edits and clarify regulatory language in certain provisions. These 

proposed amendments to the pipeline safety regulations would not 

require pipeline operators to undertake any significant new pipeline 

safety initiatives.

2 SB - N, SLT - N, IC - N

PHMSA 2137-

ZA02

Rail Routing 

Consultation Letter

PHMSA, FRA, and TSA have taken action by sending a letter to rail 

carriers to clarify the proper consultation steps to be taken with state, 

local, and tribal entities.

5 3/15/2011 SB - N, IC - N, SLT - Y

Stage: 1 = Pre-Rule; 2 = NPRM; 3 = Final Rule;

4 = Long-Term Action; 5 = Completed Page 23 of 23

Add'l Info: (Y)es or (N)o to Likely Burden Reductions for:

SB = Small Businesses; IC = Information Collection;

SLT = State/Local/Tribal Entities